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Detailed Report
Alex Brown
ALEX NEIL BROWN, ALEX NELL BROWN
CRD#: 7129676
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 2500 ARAPAHOE AVENUE
BOULDER, CO 80302
Registration History
20122014201620182020202220242026IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2023 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2019 - Present (5 years)
Disclosure(s)
View By:
8/19/2012
Criminal
Final Disposition
License(s)

State Registrations

B
California 10/24/2023
B
Oklahoma 8/12/2024
B
Colorado 7/29/2019
IA
Texas 10/25/2023
IA
Colorado 10/13/2023
B
Texas 10/19/2024
B
Georgia 11/6/2023
B
Virginia 1/17/2025
B
Illinois 11/9/2023
B
Washington 11/3/2023
B
Ohio 11/16/2023
B
Wisconsin 12/5/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
2500 ARAPAHOE AVENUE, BOULDER, CO 80302
Registered with this firm since 10/13/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
2500 ARAPAHOE AVENUE, BOULDER, CO 80302
Registered with this firm since 7/29/2019
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.